SEC Form 4 · accession 0001000045-17-000003
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katie MacGillivary
Officer — Chief Financial Officer
Period of report
May 16, 2017
Accepted (ET)
May 30, 2017 · 4:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001000045
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 16, 2017 | A | 2,077 | $0.00 | A | 19,759 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F3 | $8.44 | holding | — | — | — | — | Nov 3, 2020 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F4 | $14.37 | holding | — | — | — | — | Jun 13, 2024 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1The award represents earned, but unvested shares underlying performance units with the shares vesting on March 31, 2019.
- F2The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend.
- F3This option vested in five equal annual installments beginning on November 3, 2010.
- F4This option vests in five equal annual installments beginning on June 13, 2014.